Advertising/Marketing

You know you must stay away from testimonials or risk the wrath of the SEC but sharing a partial client list - within certain bounds ...

A hedge fund needn't seek GIPS compliance for its marketing but the voluntary status may raise its credibility in the eyes of potential investors. New ...

The firm's marketing presentation included a slide designed to show its buy-sell discipline. SEC examiners saw it differently. They felt the material amounted to a ...

Click here to download a Word template, courtesy of Aaron De Angelis of Spring Mountain Capital in New York, that can aid in the tracking ...

Any look at compliance with advertising and marketing rules begins with Advisers Act rule 206(4)-1, which defines an ad as essentially any "written communication addressed ...

This is an SEC no-action letter that declares a booklet containing a partial list of clients as an advertisement even though it was intended for ...

IPads appear to be all the rage, and their business potential doesn't escape even the casual user, what with its rapid access to the Internet ...

The SEC expects your policies and procedures to include a look at the "accuracy of disclosures made" in advertisements but it doesn't lay out a ...

This is a big year for your firm if it claims compliance with GIPS standards. Every five years the CFA Institute updates its voluntary Global ...

Click here to open an Excel document that is a marketing review log courtesy of Michelle Kennedy, consultant with Compass Compliance Services in Greenwood, S.C. ...